Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Catherine? Claim Your ProfileCatherine M. Cafaro is a financial advisor with J.P. Morgan Securities LLC. Catherine has been in the financial services industry since 2014. Catherine is registered with the Securities and Exchange Commission (SEC) and has a Series 63, 66, 7, 9, and 10 licenses. Catherine is also registered with the Financial Industry Regulatory Authority (FINRA). Catherine has previously worked at HSBC Securities (USA) Inc. and HSBC Bank USA, N.A. Catherine is a Registered Representative and Investment Advisor Representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
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2
NY
08/24/2022 - Present
J.p. Morgan Securities LLC (New York NY)
NY
10/14/2014 - 08/03/2022
HSBC SECURITIES (USA) INC. (DEPEW NY)
BOTH
Issued 12/11/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/26/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/21/2022
Series 4 - Registered Options Principal Examination
BC
Issued 02/21/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/20/2018
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/2014
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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